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Found 3691 results. Displaying page 58 of 247

  2. 7 March 2022

    Simplicity NZ Ltd - Direction Order

    Direction order issued to Simplicity NZ Limited pursuant to section 414 of the FMC Act 2022 7 March 2022.
    Tags
    Managed funds, Investigations, Ways to invest, Investing, Consumer, Enforcement
    Type
    PDF

  3. 24 March 2011

    Bernard Whimp - Interim Stop Order

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
    Tags
    Type
    PDF

  4. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014
    Tags
    Enforceable action, Formal warning, Powers, Enforcement
    Type
    PDF

  6. 27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.
    Tags
    Auditors, Enforceable action, Roles, Reports and Papers, Business, News & Insights, Enforcement
    Type
    Page

  7. 12 December 2013

    Finanstilsynet (Denmark) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and Finanstilsynet (Denmark).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  8. 12 December 2013

    Autorite des marches financiers (France) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Autorite des marches financiers (France)
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  9. 12 December 2013

    Finansinspektionen Sweden - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Finansinspektionen Sweden
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
    application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  11. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  12. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.
    Tags
    FMC Act, Legislation, Licensing & registration, Business
    Type
    PDF

  13. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  14. 5 November 2019

    Declaration Fit and Proper - Audit /Management Partner

    This statutory declaration should be completed by Audit firms managing partner/s and should be submitted to the FMA when you apply for a licence to operate.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Declaration form

  15. 5 November 2019

    Declaration Fit and Proper - Audit firms

    To comply with section 26(1)(d) of the Act the Firm must meet the minimum standards for audit firms set out in Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (‘the prescribed minimum standards’) prescribed by FMA pursuant to section 32 (1) (g) of the Act. Clause 8(1)(c) of the prescribed minimum standards requires that all of the Firm’s partners must be fit and proper persons as assessed by FMA.
    This declaration provides evidence of the steps taken by the firm and the partner who signs this declaration to identify any relevant information and confirms the correctness and completeness of information provided.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    PDF, Declaration form